Thomas L. Ripperger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Louis Ripperger, who also goes by Tom Louis Ripperger, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1989. Thomas had worked at 7 firms and has passed the Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2015 - July 24, 2015
WHITAKER SECURITIES LLC
December 16, 2011 - June 3, 2015
BGC FINANCIAL, L.P.
October 21, 2009 - December 22, 2011
TULLETT PREBON FINANCIAL SERVICES LLC
February 15, 2002 - June 3, 2009
ICAP SECURITIES USA LLC
July 29, 1999 - April 28, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
May 4, 1998 - January 25, 2002
ICAP SECURITIES USA LLC
February 17, 1989 - May 4, 1998
HILLIARD FARBER SECURITIES CORP.
February 17, 1989 - May 4, 1998
DEALERWEB LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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